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I•••••• M•••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 10b 100b

I•••••• M•••••• A•••••••• L••

CRD 154461

SEATTLE, WA

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Search this name across graphsid dfx:ria:16534b9e-b3e9-176d-3b2b-6336208babb1

Data as of Jun 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 85
Dated events: 30
On other graphs: 0
Observed: Mar 30, 2012 to Jun 29, 2026
53 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

I•••••• A•••••••• I•••

owned by this firm per Schedule A, named with its CRD in Item 7.A · confidence 90% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.02 fund_share=0.37 institutional_share=0.07 related_bd=true related_bank=true bd_reps=19.0
Regulatory AUM: $31BItem 5.F on the latest filing (2026-06-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $31B
Private client RAUM: $605MderivedItem 5.D individuals plus high net worth individuals
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 17
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T•• M•••••• B•••••	Chartered Financial Analyst	SEATTLE, WA	15	18	1	no
G•••• T•••	Chartered Financial Analyst	SEATTLE, WA	15	17

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• T••• M••••••	HEAD OF FIXED INCOME SMAS AND VICE PRESIDENT	Na	yes	11/2020	Jul 18, 2013	Nov 25, 2024
B••••••••• E•••••	HEAD OF SMAS AND S••••• VICE PRESIDENT	Na	yes	05/2019	Jul 18, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•••••• C•••••• M••••••••• L••	n/a	ASSET_M••••••	$941B	N	yes	n/a
I•••••• A•••••••• I•••	n/a	ASSET_M••••••	$750B	Y	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	8	no
DOWNERS GROVE	IL	United States	5	no
Atlanta	Ga	United States	3	no
Rochester	NY	United States	1	no
Boston	Ma

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	1	0	0	1	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$31B	$25B	27.1%	$11B	40.0%	68	60	6	6

Relationships

showing 80 of 85

Affiliated with (44)

← I•••••• H••• K••• L••••••Registered adviserother investment adviser, bank, common control
factForm ADV
← I•••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ I•••••• I••••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ H••••••••• A•••• M••••••••• C•••••••••Registered adviser

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
I•••••• M•••••• A•••••••• L•• reported RAUM $31.3B, up 27% from $24.6B (2026-01-15 to 2026-03-30)
Form ADVobserved 6 days ago
$6.7B
Occurred
Mar 27, 2025
Regulatory AUM changed
I•••••• M•••••• A•••••••• L•• reported RAUM $24.6B, up 40% from $17.5B (2024-11-25 to 2025-03-27)
Form ADVobserved 6 days ago
$7.1B
Occurred
Aug 26, 2024
Advisor changed firm
A•••••• Legault left I•••••• M•••••• A•••••••• L•• for Chaps Lifestyle Llc (registered 2025-03-25)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:16534b9e-b3e9-176d-3b2b-6336208babb1
First observed: Mar 30, 2012
Last observed: Jun 29, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Controls (16)

← M••••••• J•••••• E••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 25, 2024 to Nov 25, 2024factForm ADV
← I•••••• A•••••••• I•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Jun 6, 2019 to Nov 25, 2024factForm ADV
← G••••••• M•••• W••••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2022 to Nov 25, 2024factForm ADV
← W•••• T•••• L••OwnerPRESIDENT, ownership code NA, individual
Mar 30, 2023 to Nov 25, 2024factForm ADV
← B••••••••• E•••••OwnerHEAD OF SMAS AND S••••• VICE PRESIDENT, ownership code NA, individual
Jul 18, 2013 to Nov 25, 2024factForm ADV
← D••••• L••••• A••••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Nov 13, 2020 to Nov 25, 2024factForm ADV
← N•••••••• A••• L•••OwnerCHIEF COMPLIANCE OFFICER AND S••••• VICE PRESIDENT, ownership code NA, individual
Mar 2, 2021 to Nov 25, 2024factForm ADV
← B•••••• T••• M••••••OwnerHEAD OF FIXED INCOME SMAS AND VICE PRESIDENT, ownership code NA, individual
Jul 18, 2013 to Nov 25, 2024factForm ADV
← K•••••• G•••OwnerTREASURER, ownership code NA, individual
Mar 30, 2022 to Nov 25, 2024factForm ADV
← I•••••• G•••• S•••••••• I•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Jun 6, 2019 to Nov 25, 2024factForm ADV
← I•••••• H•••••• C•••••• •••• I•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Jun 6, 2019 to Nov 25, 2024factForm ADV
← I•••••• H•••••• C•••••• L••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jun 6, 2019 to Nov 25, 2024factForm ADV
← I•••••• L•••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jun 6, 2019 to Nov 25, 2024factForm ADV
← O••••••••• A••••••••• C••••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
May 3, 2017 to Nov 25, 2024factForm ADV
← O••••••••• I•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
May 3, 2017 to Nov 25, 2024factForm ADV
← S•• A•••• M••••••••• C•••••••••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Jun 14, 2016 to Nov 25, 2024factForm ADV

2025	Mar 30, 2026	$31B	$31B	68	29	6	n/a	n/a
2024	Mar 27, 2025	$25B	$25B	60	30	6	n/a	n/a
2023	Mar 25, 2024	$18B	$18B	55	29	6	n/a	n/a
2022	Mar 30, 2023	$11B	$11B	42	14	4	n/a	n/a
2021	Mar 30, 2022	$7.3B	$7.3B	31	13	3	n/a	n/a
2020	Mar 2, 2021	$6.3B	$6.3B	25	13	3	n/a	n/a
2019	Mar 9, 2020	$5.1B	$5.1B	25	13	4	n/a	n/a
2018	Mar 29, 2019	$3.3B	$3.3B	26	9	1	n/a	n/a
2017	Mar 29, 2018	$3.0B	$2.9B	26	9	1	n/a	n/a
2016	Mar 16, 2017	$2.6B	$2.5B	18	7	n/a	n/a	n/a
2015	Mar 29, 2016	$2.4B	$2.4B	15	7	n/a	n/a	n/a
2014	Mar 12, 2015	$2.5B	$2.4B	16	7	n/a	n/a	n/a
2013	Mar 3, 2014	$2.0B	$1.9B	15	6	n/a	n/a	n/a
2012	Mar 26, 2013	$1.6B	$1.6B	23	10	n/a	n/a	n/a
2011	Mar 30, 2012	$1.3B	$1.3B	n/a	n/a	n/a	n/a	n/a